DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Principal Enterprise Capital, LLC

Former SEC-registered adviserDes Moines, IowaCRD 157574SEC 801-73645IAPD
Latest filing Mar 28, 2023
First filing on the tape Feb 14, 2012 · 30 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$6.7B as of Mar 28, 2018
Mar 25, 2013$2.9B then
HNW client RAUM$0 as of Mar 28, 2023
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 25, 20130 then
Employees (5.A)2 as of Mar 28, 2023
Mar 25, 20138 then
Private funds1 as of Mar 28, 2018
Mar 25, 20131 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Eugene Todd Everett · Chief Executive Officercontrol
        since 07/2020 · owns less than 5%
      • Gregory Patrick Halter · Chairmancontrol
        since 12/2005 · owns less than 5%
      • Marie Jill Hittner · Directorcontrol
        since 10/2018 · owns less than 5%
      • Thomas Justin Lange · Chief Compliance Officercontrol
        since 10/2022 · owns less than 5%
      • Dawnette Deanna Strable-Soethout · Directorcontrol
        since 08/2017 · owns less than 5%
      Entity owners
      • Principal Global Investors Holding Company (US) LLC · 100% Ownership
        direct · owns 75% or more
      • Principal Financial Group, Inc. · 100% Owner
        indirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
      • Principal Financial Services, Inc. · 100% Owner
        indirect · owns 75% or more of Principal Global Investors Holding Company (US) LLC
      Related persons
      Schedule D 7.A
      Advisers that list Principal Enterprise Capital, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 0 to 2
        Nov 14, 2022 to Mar 28, 2023
      • Employees · 1 to 0
        Oct 29, 2018 to Mar 11, 2019
      • Accounts · 1.0 to unset
        Apr 24, 2018 to Aug 31, 2018
      • Advisory employees · 12 to 0
        Apr 24, 2018 to Aug 31, 2018
      • Pooled vehicle clients · 1 to 0
        Apr 24, 2018 to Aug 31, 2018
      • Assets in custody · 6701700000.0 to unset
        Apr 24, 2018 to Aug 31, 2018
      • Custody of client assets · true to false
        Apr 24, 2018 to Aug 31, 2018
      • Employees · 14 to 1
        Apr 24, 2018 to Aug 31, 2018
      • Other offices · 1 to 0
        Apr 24, 2018 to Aug 31, 2018
      • Private funds · 1 to unset
        Apr 24, 2018 to Aug 31, 2018
      • Discretionary RAUM · 0.0 to unset
        Apr 24, 2018 to Aug 31, 2018
      • Non-discretionary RAUM · 6701700000.0 to unset
        Apr 24, 2018 to Aug 31, 2018
      • Pooled vehicle RAUM · $6.7B to $0
        Apr 24, 2018 to Aug 31, 2018
      • RAUM · 6701700000.0 to unset
        Apr 24, 2018 to Aug 31, 2018
      • Advisory employees · 10 to 12
        May 26, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        May 26, 2017 to Mar 28, 2018
      • Assets in custody · $5.5B to $6.7B
        May 26, 2017 to Mar 28, 2018
      • Employees · 13 to 14
        May 26, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        May 26, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $5.5B to $6.7B
        May 26, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        May 26, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 6701700000.0
        May 26, 2017 to Mar 28, 2018
      • RAUM · $5.5B to $6.7B
        May 26, 2017 to Mar 28, 2018
      • Employees · 11 to 13
        Mar 30, 2017 to May 26, 2017
      • Advisory employees · 11 to 10
        May 2, 2016 to Mar 30, 2017
      • Assets in custody · $5.0B to $5.5B
        May 2, 2016 to Mar 30, 2017
      • Employees · 12 to 11
        May 2, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $5.0B to $5.5B
        May 2, 2016 to Mar 30, 2017
      • RAUM · $5.0B to $5.5B
        May 2, 2016 to Mar 30, 2017
      • Advisory employees · 10 to 11
        May 4, 2015 to Mar 25, 2016
      • Assets in custody · $3.9B to $5.0B
        May 4, 2015 to Mar 25, 2016
      • Non-discretionary RAUM · $3.9B to $5.0B
        May 4, 2015 to Mar 25, 2016
      • RAUM · $3.9B to $5.0B
        May 4, 2015 to Mar 25, 2016
      Signals
      3 dated events
      • Ann Patricia Bailey (Chief Financial Officer/Real Estate) no longer on Schedule A of Principal Enterprise Capital, Llc (listed 2022-11-14, absent 2023-03-28)
        Mar 28, 2023 · Control person left · inference
      • Thomas Justin Lange (Chief Compliance Officer) appeared on Schedule A of Principal Enterprise Capital, Llc
        Oct 10, 2022 · Control person joined · fact
      • A Patricia Bailey (Chief Financial Officer/Real Estate) appeared on Schedule A of Principal Enterprise Capital, Llc
        Mar 30, 2022 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026